News January 5, 2015 Issue

Car Loan Collector as Hedge Fund Manager: SEC Takes Action Against Adviser

You can hang a sign around your neck saying that you�re a hedge fund manager � but that doesn�t make you one.

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Watch Out for 5 Cybersecurity Myths

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Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.

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Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.

The Hidden Costs of Non-Compliance

Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.

CCO Liability: How to Protect Yourself

Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.

How to Read an SEC Enforcement Action

Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.

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News January 5, 2015 Issue

Car Loan Collector as Hedge Fund Manager: SEC Takes Action Against Adviser

Full contents of this article are only available to paid subscribers.

Subscriber Log In

Current Issue

Audio Interviews

Watch Out for 5 Cybersecurity Myths

Top 10 Cybersecurity Steps to Take Now

Ethics or Compliance: Making the Choice

Top Marketing Problems and Solutions

The Hidden Costs of Non-Compliance

CCO Liability: How to Protect Yourself

How to Read an SEC Enforcement Action

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See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

Car Loan Collector as Hedge Fund Manager: SEC Takes Action Against Adviser

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